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UBS is sticking with its recommendations that some clients buy risky Puerto Rico closed-end bond funds, despite hundreds of arbitration claims by investors, says an internal document.
Morgan Stanley's wealth management customers added far less money to their fee-based accounts in the third quarter than earlier this year, despite the firm's promotion of the lucrative accounts.
A former UBS AG branch manager's pay discrimination case in Puerto Rico highlights behavior some lawyers say can give brokerages an edge in arbitration: breaking discovery rules.
The stock market quaked on Wednesday after a week of tremors, but financial advisors and stockbrokers stuck largely to their scripts.
In mid-August, Stifel Nicolaus & Co.’s top equity strategist Barry Bannister went from the biggest bear on U.S. equities to its biggest bull. It might have been too soon, he says.
LPL Financial has agreed to reimburse more than half a million dollars to investors to settle complaints over switching annuities, a securities regulator said
Bond traders at JPMorgan Chase & Co. and Citigroup Inc. face the fastest-shrinking bonus pools on Wall Street this year, while Morgan Stanley investment bankers head for the greatest gains.
The hackers who raided the data banks of JPMorgan Chase & Co...
Two brokers at Merrill Lynch must collectively return more than $6.6 million in signing bonuses to Barclays Capital for leaving the firm's U.S...
Finra arbitrators are too old and too male, the Public Investors Arbitration Bar Association contended Tuesday.
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The founder of a global concierge telemedicine practice assesses the news on the deadly Ebola virus. + Read more
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